In what is hopefully not going to become a long series I am today dealing with the joys of compliance reporting in the context of HEFCE’s Policy for open access in the post-2014 Research Excellence Framework (REF). The policy requires that conference papers and journal articles that will be submitted to the next REF – a research assessment through which funding is allocated to UK universities – have to be deposited in a repository within three months of acceptance for publication. Outputs that are published as open access (“gold OA”) are also eligible, and during the first year of the policy the deposit deadline has been extended to three months of publication. The policy comes in force on 1st April and considering the importance of the REF the UK higher education sector is now pondering the question: how compliant are we?

As far as Imperial College is concerned, I can give two answers: ‘100%’ and ‘we don’t know’.

‘100%’ is the correct answer as until 1 April all College outputs remain eligible for the next REF. While correct, the answer is not very helpful when trying to assess the risks of non-compliance and for understanding where to focus communications activities. Therefore we have recently gone through a number crunching exercise to work out how compliant we would be if the policy had been in force since May last year. In May 2015 we made a new workflow available to academics, allowing them to deposit outputs ‘on acceptance’. The same workflow allows academics to apply for article processing charges for open access, should they wish to.

You would imagine that with ten months of data we would be able to give an answer to the question for ‘trial’ compliance, but we cannot, at least not reliably. In order to assess compliance we need to know the type of output, date of acceptance (to work out if the output falls under the policy), the date of deposit and the date of publication (to calculate if the output was deposited within three months). Additionally it would help to know whether the output has been made open access through the publisher (gold/immediate open access).

Below are eight issues that prevent us from calculating compliance:

Publisher data feeds do not provide the date of acceptance
Publishers do not usually include the date of acceptance in their data feeds, therefore we have to rely on authors manually entering the correct date on deposit. Corresponding authors would usually be alerted to acceptance, but co-authors will not always find out about acceptance, or there may be a substantial delay.

Deposit systems do not always require date of acceptance
The issue above is made worse by not all deposit systems requiring academics to enter the date of acceptance. In Symplectic Elements, the system used by Imperial, the date is mandatory only in the ‘on acceptance’ workflow; when authors deposit an output that is already registered in the system as published there is currently no requirement to add the date – resulting in the output listed as non-compliant even if it was deposited in time. Some subject repositories do not even include fields for date of acceptance.

Difficulties with establishing the status of conference proceedings
Policy requirements only apply to conference proceedings with an ISSN. Because of the complexities with the publishing of conference proceedings we often cannot establish whether an output falls under the policy, or at least there is a delay (and possible additional manual effort).

Delays in receiving the date of publication
It takes a while for publication metadata to make it from publishers’ into institutional systems. During this time (weeks, sometimes months) outputs cannot be classed as compliant.

Publisher data feeds do not always provide the date of publication
This may come as a surprise to some, but a significant amount of metadata records do not state the full date of publication. The year is usually included, but metadata records for 18% of 2015 College outputs did not specify year or month. This percentage will be much higher for other universities as the STEM journals (in which most College outputs are published) tend to have better metadata than arts, humanities and social sciences journals.

Publisher data feeds usually do not provide the ‘first online’ date
Technically, even where a full publication date is provided the information may not be sufficient to establish compliance. To get around the problem that publishers define publication dates differently, HEFCE’s policy states that outputs have to be deposited within three months of when the output was first published online. This information is not usually included in our data feeds.

Publisher data feeds do not usually provide licence information
Last year, Library Services at Imperial College processed some 1,000 article processing charges (APCs) for open access. We know that these outputs would meet the policy requirements. However, when the corresponding author is not based at Imperial College – last year around 55% of papers had external co-authors – we have no record on whether they requested that the output be made open access by a publisher. For full open access journals we can work this out by cross-referencing the Directory of Open Access Journals. However, for ‘hybrid’ journals (where open access is an (often expensive) option) we cannot track this as publisher metadata does not usually include licence information.

We cannot reliably track deposits in external repositories
Considering the effort universities across the UK in particular have put into raising awareness of open access there is a chance that outputs co-authored with academics in other institutions have been deposited in their institutional repository. Sadly, we cannot reliably track this due to issues with the metadata. If all authors and repositories used the ORCID identifier it would be easier, but even then institutional repositories would have to track the ORCID iD of all authors involved in a paper, not just those based at their university. If we had DOIs for all outputs in the repositories it would be much easier to identify external deposits.

Considering the issues above, reliably establishing ‘compliance’ is at this stage a largely manual effort that would take too much staff time for an institution that annually publishes some 10,000 articles and conference proceedings – certainly while the policy is not yet in force. Even come April I would rate such an activity as perhaps not the best use of public money. Arguably, publisher metadata should include at least the (correct) date of publication and also the licence, although I cannot see a reason not to include the date of acceptance. If we had that, reporting would be much easier. If we had DOIs for all outputs (delivered close to acceptance) it would be even easier as we could track deposits in external repositories reliably.

Therefore I call on all publishers: if you want to help your authors to meet funder requirements, improve your metadata. This should be in everyone’s interest.

What we can report on with confidence is the number of deposits (excluding theses) to our repository Spiral during 2015: 5,511. Please note: 2015 is the year of deposit, not necessarily year of publication.

When you come at it for the first time, open access looks pretty complicated. Funder policies, institutional policies, publisher policies, different flavours of OA including ‘green’, ‘gold’, ‘libre’ and ‘gratis’ and a whole new language with mystifying terms like ‘hybrid journal’, ‘article processing charge’ and ‘author accepted manuscript’ await. Even librarians sometimes struggle to understand journal policies, or what certain licensing conditions actually mean.

It was perhaps for this reason that, when we started the College open access project, academics gave us a clear mission: a one button solution to open access.

We haven’t quite achieved that yet, but since May we are running a new workflow that reduces the complexity to one sentence: ‘When you have a paper accepted, deposit the peer-reviewed manuscript – we do the rest, no matter what type of open access.’

The workflow is based on two ideas:

Ask authors for the minimum information required.

Offer authors a single publications workflow that covers green and gold OA as well information required for funder reporting.

The frontend for this workflow is Symplectic Elements, the system used by our academics to manage their scholarly outputs. We have worked with the vendor to deliver an OA workflow that kicks in on acceptance for publication, and then we customised the system to interface with ASK OA, our in-house APC management system.

On acceptance for publication, authors add minimal metadata and the manuscript to Elements, link the article to relevant grants and if they want the College to pay an open access charge they simply tick a box. Colleagues in the Library’s open access team then check the submission, set necessary embargoes and make the output available through Spiral, the College repository. If payment is requested, the data is automatically transferred to ASK OA, the cloud-based, workflow-driven system that we launched last year. Through that process, authors receive a purchase order number to send to their publisher. When the College receives the electronic invoice, our finance system matches the PO and the payment process starts. No author interaction needed.

Above you see a screenshot of the information we require from authors. In addition, they deposit the manuscript (or share a link if it was already deposited in an external repository) and link the output to relevant grants. That allows us to charge costs for open access publishing to the correct funders and, once funder systems are ready, will enable the College to automate funder reporting on research outputs. If you want to see a demonstration, check out this video guide produced by the College Library:

The feedback we had from academics has been positive so far, and the numbers show that as well:

While the workflow is working well so far, we are still far away from what I would consider the ideal scenario. There are still enough journals with difficult and unhelpful policies, and no university workflow will be able to fix that. Publishers being unable to issue correct invoices is another issue. We also have the problem to reliably match the metadata entered on acceptance with the metadata for the published output. Publishers could help by issuing authors with a DOI on acceptance.

Even better, publishers could feed publication metadata into systems like CrossRef on the date of acceptance. If the metadata had funder, licence and embargo information attached and a link to the manuscript, then open access would indeed become a one-click-problem. Authors enter their data on submission, and following acceptance it automatically travels through all relevant systems, until it ends up in an institutional repository. There would be no additional effort for authors, and admin overhead would be reduced greatly. The components to enable this already exist, for example the author identifier ORCID that was rolled out across the College last year.

We are still working towards the goal of a “one button” solution for open access with our partners. Until then the message remains: deposit the manuscript on acceptance, we do the rest.

Just in time before the College closes for the Christmas break I have found the time to write my overdue summary of recent developments in the world of open access and scholarly communication. Below are a few of the headlines and developments that caught my eye during the last couple of months.

Cost of Open Access

Commissioned by London Higher and SPARC Europe, Research Consulting have published Counting the Costs of Open Access. Using data provided by universities, including Imperial College, it concludes that there was a £9.2m cost to UK research organisations for achieving compliance with RCUK’s open access policy in 2013/14. Main conclusions are quoted below – the estimated costs for meeting REF open access requirements are particularly interesting seeing as HEFCE do not provide any funding for their in some ways even more ambitious open access policy:

The time devoted to OA compliance is equivalent to 110 fulltime staff members across the UK.

The cost of meeting the deposit requirements for a post-2014 REF is estimated at £4-5m per annum.

Gold OA takes 2 hours per article, at a cost of £81.

Green OA takes just over 45 minutes, at a cost of £33.

Pinfield, Salter and Bath published: The ‘total cost of publication’ in a hybrid open-access environment. The study analyses data from 23 UK institutions, including Imperial College, covering the period 2007 to 2014. It finds that while the mean value of APCs has been relatively stable, ‘hybrid’ subscription/OA journals were consistently more expensive than fully-OA journals. Modelling shows that APCs are now constituting 10% of the total cost of ownership for publishing (excluding administrative costs).

John Ulmschneider, Librarian at the Virginia Commonwealth University, estimates that with current price increases the cost for subscription payments would “eat up the entire budget for this entire university in 20 years”. Partly in response to that, VCU has launched its own open access publishing platform.

UK Funder News

Arthritis Research UK, Breast Cancer Campaign, the British Heart Foundation (BHF), Cancer Research UK, Leukaemia & Lymphoma Research, and the Wellcome Trust have joined together to create the Charity Open Access Fund (COAF). COAF operates in essentially the same way as the WT fund it replaces.

Research Information published a summary of international developments around open access: The Research Council of Norway is making funding available to cover up to 50% of OA publishing charges. The Chinese Academy of Sciences and the National Natural Science Foundation of China require deposit of papers in an OA repository within 12 months of publication. The Mexican president has signed an act to provide “Mexicans with free access to scientific and academic production, which has been partially or fully financed by public funds”.

The launch of Science Advances, a journal of the American Association for the Advancement of Science (AAAS), prompted strong criticism of the AAAS approach to open access. Over a hundred scientists signed an open letter criticising AAAS for charging $1000 for the CC BY license as well as $1500 for papers longer than ten pages – on top of a $3000 base APC. This has been picked up by media including the New Statesman.

The Nature Publishing Group has had two major OA-related headlines. Generally well received was the announcement that NPG would switch the prestigious Nature Communications to full open access. On the other hand, the move to give, limited, read access to articles has been widely criticised as beggar access and a step back for open access: NPG allow those with a subscription to give others viewing (not printing) access to papers, through a proprietary software.

An open letter signed by nearly 60 open access advocates, publishers, library organisations and civil society bodies warns against model licenses governing copyright on open access articles proposed by the International Association of Scientific, Technical & Medical Publishers (STM). The letter says the STM licences “would limit the use, reuse and exploitation of research” and would “make it difficult, confusing or impossible to combine these research outputs with other public resources”. The STM licenses are seen as incompatible with Creative Commons licences.